-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BxgHeyK8vjdlrw2YGhnHOKiTKySgdpkDjiDCAWyBw7q2PU6B/SZ1RBtOzcaV3ZtZ TS+zA/povHQXArYvN4/uVQ== 0001037112-97-000001.txt : 19971216 0001037112-97-000001.hdr.sgml : 19971216 ACCESSION NUMBER: 0001037112-97-000001 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971031 FILED AS OF DATE: 19971215 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPTICAL COATING LABORATORY INC CENTRAL INDEX KEY: 0000074697 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 680164244 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-02537 FILM NUMBER: 97738326 BUSINESS ADDRESS: STREET 1: 2789 NORTHPOINT PKWY CITY: SANTA ROSA STATE: CA ZIP: 95407 BUSINESS PHONE: 7075456440 MAIL ADDRESS: STREET 1: 2789 NORTHPOINT PARKWAY CITY: SANTA ROSA STATE: CA ZIP: 95407-7397 COMPANY DATA: COMPANY CONFORMED NAME: PIETRELLI KENNETH D CENTRAL INDEX KEY: 0001037112 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER IRS NUMBER: 547668905 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 4873 HOEN AVE CITY: SANTA ROSA STATE: CA ZIP: 95405 BUSINESS PHONE: 7075257520 MAIL ADDRESS: STREET 1: 4873 HOEN AVE CITY: SANTA ROSA STATE: CA ZIP: 95405 5 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. [ ] Form 3 Holdings Reported [ ] Form 4 Transactions Reported 1. Name and Address of Reporting Person(s) PIETRELLI, KENNETH D. 4873 HOEN AVENUE SANTA ROSA, CA 95405 2. Issuer Name and Ticker or Trading Symbol OPTICAL COATING LABORATORY INC. (OCLI) 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### 4. Statement for Month/Year 10/97 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) Vice President, Corporate Services 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person
Table I Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Security 2)Trans- 3.Trans- 4.Securities Acquired(A) 5)Amount of 6) 7)Nature of action action or Disposed of (D) Securities Indirect Date Code A Beneficially D Beneficial (Month/ or Owned at or Ownership Day/Year) Code Amount D Price End of Year I - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11,945 D Direct Common Stock 2,950 I 401K Plan Common Stock 12/31/96 (1)J (1) 220 (1) A $0.000000 (1)7,045 I Held by ESOP (1) Table II (PART 1) Derivative Securitites Acquired, Disposed of, or Beneficially Owned (Columns 1 through 6) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 2)Conversion 3)Trans- 4)Trans- 5)Number of Derivative 6)Date Exercisable and Security or Exercise action action Securities Acquired (A) Expiration Date Price of Date Code or Disposed of (D) Derivative Security Code A D Exercisable Expiration - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $10.187500 03/18/97 A (2) 10,000 03/18/98 (3) 03/18/02 (right to buy) Non-Qualified Stock Option $10.250000 12/16/96 A 15,000 12/16/97 (4) 12/16/01 (right to buy) Table II (PART 2) Derivative Securitites Acquired, Disposed of, or Beneficially Owned (Columns 1,3 and 7 through 11) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 3)Trans- 7)Title and Amount 8)Price 9)Number of 10) 11)Nature of Security action of Underlying of Deri- Derivative Indirect Date Securities vative Securities D Beneficial Amount or Security Beneficially or Ownership Number of Owned at I - Title Shares End of Year - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option 03/18/97 Common Stock 10,000 10,000 D Direct (right to buy) Non-Qualified Stock Option 12/16/96 Common Stock 15,000 15,000 D Direct (right to buy) Explanation of Responses: (1) Shares are acquired at various prices throughout the year by the issuer's qualified Employee Stock Ownership Plan (ESOP) and allocated to the reporting person's account at calendar year end. The shares are held for the benefit of the reporting person by the OCLI/401(k)/ESOP Plan. (2) Right to buy granted under the issuer's Employee Stock Option Plan, a Rule 16b-3 plan. (3) Stock options granted on 3/18/97 under the Issuer's 1996 Incentive Compensation Plan in a transaction exempt under Rule 16b-3. The options carry a vesting schedule whereby one-third (1/3) of the grant vests on the first anniversary of the grant. The remaining two-thirds (2/3) vest on a monthly basis, on the day of the month the grant was made, over the next two years. (4) Granted on 9/15/97 under the Issuer's Incentive Compensation Plans in a transaction exempt under Rule 16b-3. The option grant carries a vesting schedule whereby one-third of the grant vests on the first anniversary of the grant, with the remaining two-thirds (2/3) vesting on a monthly basis, on the day of the month the grant was made, over the next two years.
SIGNATURE OF REPORTING PERSON /S/ PIETRELLI, KENNETH D. DATE -----END PRIVACY-ENHANCED MESSAGE-----